Full text of HILLTOP SECURITIES INC.'s X-17A-5 filed 2021-02-26. Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **Hilltop Securities Inc.** **Statement of Financial Condition As of December 31, 2020 With Report of Independent Registered Public Accounting Firm** > Filed pursuant to Rule 17a(3)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT {1}------------------------------------------------ | OMB APPROVAL | | | | |--------------------------|------------------|---------------------------|--| | OMB Number: | | 3235-0123 | | | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | | | hours per response 12.00 | | | SEC FILE NUMBER | | |-----------------|--| | 8- | | | REPORT FOR THE PERIOD BEGINNING January 1, 2020 | | AND ENDING December 31, 2020 | | | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|------------------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | SO 221083 | | | | NAME OF BROKER-DEALER: Hilltop Securities Inc. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 1201 Elm Street, Suite 3500 | | | | | | | (No. and Street) | | | | | Dallas | TX | 75270 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Laura Leventhal | | | 214-859-1026 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | PricewaterhouseCoopers, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 2121 N. Pearl Street | Dallas | TX | 75201 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ | VII MA I GAIVAN<br>Notary Public, State of Texas<br>Comm. Expires 02-17-2022<br>Notary ID 10749327 | Sugnature | |----------------------------------------------------------------------------------------------------|------------------------------------------------| | Notary Public | President and Chief Executive Officer<br>Title |…Read the full text as markdown